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Giarrusso Law Group LLC
Home
About Us
Team
Michael J. Giarrusso
Fredric A. Leslie
For Investors
BDCs
GPB Capital
GWG L Bonds
Non-Traded REITs
Oil and Gas
Ponzi Schemes
Private Placements
Variable Annuities
For Advisors
Form U5 Expungement
Stockbroker Transitions
Regulatory Inquiries
Promissory Note Defense
Other Disputes
Contact Us
Blog
Contact Us
Home
About Us
Folder: Team
Back
Michael J. Giarrusso
Fredric A. Leslie
Folder: For Investors
Back
BDCs
GPB Capital
GWG L Bonds
Non-Traded REITs
Oil and Gas
Ponzi Schemes
Private Placements
Variable Annuities
Folder: For Advisors
Back
Form U5 Expungement
Stockbroker Transitions
Regulatory Inquiries
Promissory Note Defense
Other Disputes
Contact Us
Blog
Contact Us
Advisor Alert — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers
May 2021 Giarrusso Law Group LLC 5/24/21 May 2021 Giarrusso Law Group LLC 5/24/21

Advisor Alert — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers

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Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market
May 2021 Giarrusso Law Group LLC 5/20/21 May 2021 Giarrusso Law Group LLC 5/20/21

Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market

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Former LPL Advisor, Matthew Clason, Pleads Guilty to Wire Fraud in Connecticut District Court
May 2021 Giarrusso Law Group LLC 5/19/21 May 2021 Giarrusso Law Group LLC 5/19/21

Former LPL Advisor, Matthew Clason, Pleads Guilty to Wire Fraud in Connecticut District Court

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Investor Alert - Hospitality Investors Trust, Inc. Continues to Mull Bankruptcy
May 2021 Giarrusso Law Group LLC 5/12/21 May 2021 Giarrusso Law Group LLC 5/12/21

Investor Alert - Hospitality Investors Trust, Inc. Continues to Mull Bankruptcy

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Investor Alert - Scott Wayne Reed Barred from Securities Industry by FINRA
May 2021 Giarrusso Law Group LLC 5/10/21 May 2021 Giarrusso Law Group LLC 5/10/21

Investor Alert - Scott Wayne Reed Barred from Securities Industry by FINRA

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David Lerner Stockbroker, Lawrence Merl, Subject of Pending Customer Dispute Related to Energy 11
May 2021 Giarrusso Law Group LLC 5/6/21 May 2021 Giarrusso Law Group LLC 5/6/21

David Lerner Stockbroker, Lawrence Merl, Subject of Pending Customer Dispute Related to Energy 11

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Lubbock Brokerage Firm Subject of Fine by Texas Securities Regulators
May 2021 Giarrusso Law Group LLC 5/3/21 May 2021 Giarrusso Law Group LLC 5/3/21

Lubbock Brokerage Firm Subject of Fine by Texas Securities Regulators

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Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading
April 2021 Giarrusso Law Group LLC 4/27/21 April 2021 Giarrusso Law Group LLC 4/27/21

Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading

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Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers
April 2021 Giarrusso Law Group LLC 4/23/21 April 2021 Giarrusso Law Group LLC 4/23/21

Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers

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Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute
April 2021 Giarrusso Law Group LLC 4/19/21 April 2021 Giarrusso Law Group LLC 4/19/21

Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute

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SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes
April 2021 Giarrusso Law Group LLC 4/16/21 April 2021 Giarrusso Law Group LLC 4/16/21

SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes

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FINRA Sanctions Independent Financial Group for Broker’s Unsuitable Recommendations
April 2021 Giarrusso Law Group LLC 4/14/21 April 2021 Giarrusso Law Group LLC 4/14/21

FINRA Sanctions Independent Financial Group for Broker’s Unsuitable Recommendations

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Recent SEC Whistleblower Award Sets Record for 2021
April 2021 Giarrusso Law Group LLC 4/13/21 April 2021 Giarrusso Law Group LLC 4/13/21

Recent SEC Whistleblower Award Sets Record for 2021

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Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes
April 2021 Giarrusso Law Group LLC 4/12/21 April 2021 Giarrusso Law Group LLC 4/12/21

Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes

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FINRA Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account
April 2021 Giarrusso Law Group LLC 4/7/21 April 2021 Giarrusso Law Group LLC 4/7/21

FINRA Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account

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